DFX Intelligence
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Registered advisor
S••••• D••
Feed of 09/15/2026
Also filed as S•••• Y••••••••• D•• Y••••••••• D•• H••••••••• H••••••••• Y•••••••
At current firm
8 y
since Jun 14, 2018
In the industry
37 y
since Sep 19, 1989 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 14, 2018 · Salinas, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 12, 2012 to Jun 15, 2018 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseJan 12, 2012 to Feb 21, 2012 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 25, 2011 to Jan 10, 2012 · San Jose, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 27, 2010 to Feb 16, 2011 · Marina, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 28, 2008 to Mar 24, 2009 · Monterey, Ca
- W•••• F•••• A••••••• wirehouseOct 28, 2004 to Jul 15, 2005 · Carmel, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 15, 2018, registered Jun 14, 2018 (-1 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 21, 2012, registered Mar 12, 2012 (20 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 10, 2012, registered Jan 12, 2012 (2 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••left Feb 16, 2011, registered Feb 25, 2011 (9 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Mar 24, 2009, registered May 27, 2010 (429 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Jul 15, 2005, registered Aug 28, 2008 (1140 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address